Risk and Compliance Manager

North Oak Recruitment Ltd
Wolverley Village
£30,000 per annum
29 Jul 2017
24 Aug 2017
Contract Type
Full Time

Risk and Compliance Manager - Dudley (Our Ref AL762)

Salary to c£40,000 per annum + benefits

My client is an established and well regarded financial services and mortgages company, renowned for offering exceptional customer service. They now have an exciting new opportunity for an experienced Risk and Compliance Manager to join their team at their prestigious modern Head Offices in the Dudley area.

The Role:

  • Work alongside the Risk and Compliance Executive to maintain and develop the Risk Management Framework.
  • Promote a positive risk culture throughout the Company with particular attention to the embedding the Risk Management Framework.
  • Embed the Compliance Framework throughout the Company, ensuring that all compliance monitoring and quality assurance reviews are completed on time to enable them to be reported to the relevant committee.
  • Responsible for the day to day oversight of anti-money laundering including transaction monitoring, investigating internal reports and reporting the NCA and acting as Deputy Money Laundering Reporting Officer.
  • Prepare documents for the Executive Management Committees, Audit & Compliance Committee and the Board Risk Committee.
  • Manage the Regulatory Legislation Tracker to ensure that changes to regulations are implemented in a timely manner.
  • Oversee complaint handling including MPPI complaints to ensure they are dealt with in line with the regulatory requirements.
  • Approve financial promotions, including the website and customer documentation.
  • Assist with the preparation of a compliant Annual General Meeting and other corporate governance requirements.
  • Pro-actively manage and develop the Risk and Compliance team, with particular focus on improving their overall regulatory knowledge, performing regular performance reviews and annual appraisals.
  • Develop an open and approachable relationship with all departments within the Company to promote a good compliance culture.

The Person

  • Experience in a compliance and/or risk function in a financial services environment.
  • Experience of managing people
  • Have an open and approachable manner and the ability to communicate and work alongside all departments promoting a good compliance and risk culture.
  • Good written communications with attention to detail.
  • Hold a relevant qualification e.g. Compliance Diploma, Institute of Risk Management Certificate or Certificate in Mortgage Advice and Practice (Ce-Map)

If this role is of interest and you have worked within wealth management, banking or building society environments, then please apply in confidence with an up to date CV.